Nuveen India | Analyst - Compliance

Responsibilities

• RIWSS is seeking a Risk & Compliance Support Officer (Analyst) who will be responsible for evaluating recorded National Contact Center consultant interactions flagged by the AI compliance monitoring system for potential compliance concerns.
• This role plays a critical part in supporting TIAA's commitment to regulatory integrity, consultant accountability, and participant protection.
• Working under close supervision, this job assists team members with identifying, investigating, and reporting compliance risks.
• Assists compliance risk assessments to identify compliance issues, concerns and deficiencies.
• Supports with invitations in response to complaints and/or potential violates of rules, regulations, policies and procedures.
• Performs basic tasks to assist with organization and implementation of compliance audits.
• Assists with the design and implementation of corrective action plans to resolve problematic compliance issues and to ensure that compliance deficiencies are corrected.
• Prepares reports on the results of compliance and ethics initiatives of the business unit.
• Assists with the implementation of preventative measures and compliance processes, while contributing to the revision of policies and procedures to improve the general operation of business unit compliance programs as needed.
• Supports the development of employee communication and training programs to educate employees on the elements of company-wide compliance program.
• Researches industry compliance regulations and policies to support compliance assessments and implementation of compliance control programs.
• Reviews assigned NCC consultant call recordings in full and evaluates each call against established compliance monitoring standards.
• Updates call status to In Progress in CMA upon beginning assigned call evaluations.
• Communicates proactively to the Program Administrator when capacity constraints may affect timely case completion.
• Participates in calibration sessions and applies feedback consistently to subsequent reviews.
• Maintains a thorough understanding of monitored topic definitions, failure examples, and evaluation guidance as documented in program SOPs.
• Supports the integrity of the compliance monitoring program through objective, consistent, and well-reasoned call evaluations.
• Organizes documentation of compliance activities to provide a record of issues, and to ensure easy accessibility and retrieval of documents.
• Working within the TIAA Investigations Management System (TIMS) and its Call Monitoring Automated (CMA) module, the Analyst conducts thorough, timely, and accurate reviews of assigned calls across designated monitored topics, documents findings, and escalates observations in accordance with established compliance monitoring standards and procedures.
• Documents all review findings completely and accurately within CMA in accordance with the NCC Call Monitoring Standard Operating Procedure
• Escalates compliance observations to the Compliance Monitoring Lead for second-level review in accordance with established escalation procedures
• Working closely with our U.S. colleagues and other partners, our goal is to reduce risk, improve the efficiency of our technology and processes and develop innovative ideas to increase throughput and productivity.

Requirements

• Must be extremely detail-oriented with a very inquisitive nature, and possess sound judgement while operating with utmost integrity.
• Strong organizational and problem-solving skills along with the ability to conduct research utilizing a variety of resources.
• Must be comfortable in issuespotting.
• Strong time management, analytical skills and ability to formulate, develop and execute strategic initiatives will be critical for success.
• Must have strong written and oral communication skills to interact effectively with business partners and colleagues.
• Comfortable in a high performance, fast paced, high-pressure environment and have exceptional partnering skills as teamwork and collaboration are highly valued.
• Exposure and experience in using risk and monitoring tools and techniques.
• Experience in a financial services firm in a Risk or Compliance governance function.
• Knowledge of US-based regulatory requirements for financial advertising and marketing.
• Strong Microsoft Office skills (Word and Excel / pivot tables).
• Experience with sampling techniques.

Nuveen

Nuveen traces its origin to 1898, when John Nuveen Sr. founded John Nuveen and Company in Chicago, an investment banking firm specialising in municipal bonds. It later grew into a broad investment manager offering mutual funds, closed-end funds, private equity, real estate and separately managed accounts, with particular strength in fixed income and municipal bonds. Madison Dearborn Partners owned it from 2007 to 2014, after which it became part of TIAA, which remains its parent. Today it has major offices in Chicago, New York and Charlotte.

Its openings in India have been in Mumbai and Pune, covering compliance, global payroll, accounting, internal audit data analytics and treasury at analyst and associate level.

• Industry: Investment management: fixed income, municipal bonds, real estate, private markets and other strategies; asset manager of TIAA
• Headquarters: United States, with major offices in Chicago, New York and Charlotte (wholly owned by TIAA)
• In India: Teams in Mumbai and Pune supporting the firm's global functions